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    OpenMarkets Australia Pays $200,000 Infringement Notice Penalty

    Regulation Comparic Team -
    OpenMarkets Australia Limited ('OpenMarkets') has paid a penalty of $200,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ('the MDP'). The...

    CFTC Orders Citibank, N.A. and London-based Citigroup Global Markets Limited to Pay a $550,000...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi),...

    SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and...

    SFC bans Shum Kam Ming for life

    Regulation Comparic Team -
    The Securities and Futures Commission (SFC) has banned Mr Shum Kam Ming, a former account executive of Sincere Securities Limited (Sincere Securities), from re-entering...

    CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch),...

    FMA toughens approach to misuse of FSPR

    Regulation Comparic Team -
    The Financial Markets Authority’s report on the Financial Service Providers Register (FSPR) sets out its work to prevent the misuse of the FSPR between 2014 and...

    CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

    Regulation Comparic Team -
    The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by...

    SEC Chairman Clayton Issues Statement on Cybersecurity

    Regulation Przemyslaw Jarzabek -
    SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity...

    Financial Consumer Alert: List of Unauthorised Companies and Websites Has Been Updated

    Regulation Comparic Team -
    The Bank has updated the Financial Consumer Alert list. The list consists of companies and websites which are neither authorised nor approved under the...

    CFTC’s Office of Data and Technology Improves Online Filing Portal for CFTC Form 40

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission’s (CFTC) Office of Data and Technology (ODT) announced today that it has launched an improved online filing portal...
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